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Forest Hills, New York United States

Compliance Manager

Finance / Banking / Insurance

Compliance, Regulatory, and Operational Risk Manager , extensive financial services subject matter expertise across multiple platforms and solutions for Global Investment Banks, Broker Dealers, and Branch Offices. Regulator-facing roles across; Compliance, Legal, Operational Risk Management, Internal Audit, Trading and Sales, Technology Development Teams to support and update a broad Broker Dealer compliance program. FINRA Securities Licenses: Series; 4, 6, 7, 9, 10, 24, 53, 55, 63, 65, 79, 99; and Notary Public. Solid presentation and key messaging skills covering relevant supervisory regimes, precise attention to detail.